David Carl Taplin

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2006 → Present
  Bankers Life And Casualty Company
  South Bend, IN
• 05/2016 → 09/2019
  Summit Brokerage Services
  Lawton, FL
• 09/2019 → Present
  Cetera Wealth Services, Llc
  Elsegundo, CA
• 06/2019 → 05/2021
  Summit Financial Group
  Boca Raton, FL
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 03/2026 → Present
  David Taplin
  Lawton, MI
• 04/2026 → Present
  Summit Financial Services
  Lawton, MI

Previous Registrations

• 2019-06-28 → 2021-05-20
  Summit Financial Group Inc
  Lawton, MI

Other Businesses

(1) INSURANCE AGENT; SINCE 10/25/2006; SAME AS BRANCH ADDRESS; SALESMAN; MEDICARE SUPPLEMENT SALES; 10 HOURS SPENT ON ACTIVITY PER MONTH, 10 HOURS SPENT ON ACTIVITY PER MONTH DURING TRADING HOURS (2) TAPLIN FARMS; SINCE 08/01/2015; 23712 COUNTY ROAD 354, LAWTON, MI, 49065; OWNER; Rental of land to a local farmer for crops. We also sell eggs and firewood from our home; 10 HOURS SPENT ON ACTIVITY DURING THE MONTH, 0 HOURS SPENT ON ACTIVITY DURING TRADING HOURS (3) DAVID TAPLIN TAX PREP SOLE PROPRIETOR; NOT INVESTMENT-RELATED; SAME AS REGISTERED ADDRESS; TAX PREPARATION; OWNER; STARTED 3/27/2017; APX 10 HOURS/MONTH, NONE DURING TRADING; PREPARE TAX RETURNS (4) NAME OF OTHER BUSINESS: DAVID TAPLIN; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX PREPARATION; START DATE: 03/2026; POSITION/TITLE/RELATIONSHIP: AGENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: TAX PREPARATION; (4) NAME OF OTHER BUSINESS: SUMMIT FINANCIAL SERVICES INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 4/1/2026, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams

• S65 Uniform Investment Adviser Law Examination
  2019-06-27
• S63 Uniform Securities Agent State Law Examination
  2008-10-31

Other Names

• David Taplin